Max Dean

DEAN WEALTH PARTNERS

Austin, TX 78731

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CRD#: 2922564

Professional summary

Max Dean is a registered financial advisor currently at DEAN WEALTH PARTNERS, LLC located in Austin, Texas and PURSHE KAPLAN STERLING INVESTMENTS located in Austin, Texas.

Max is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Max has worked at 4 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1)Dean Wealth Partners, LLC. Investment Related. 7200 N MoPac Expy, Suite 140, Austin TX 78731. RIA. Principal Operator. Start 11/2018. 120 hours per week, 100 during trading. Financial Advisor/Owner. (2)Fixed Insurance. Not Investment Related. 7200 N. MoPac Expy, Suite 140, Austin TX 78731. Insurance. Agent. Start 12/1997. 3 hours per month, 2 during trading. Sell insurance.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Max Dean's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 26, 2018 - Present

DEAN WEALTH PARTNERS, LLC

Office #1: 7200 N Mopac Expressway Suite 140, Austin, TX 78731

RIA

CRD#: 298237

Austin, TX

Current

November 26, 2018 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 7200 North Mopac Expy Suite 140, Austin, TX 78731

CRD#: 35747

Austin, TX

Past

September 19, 1997 - November 23, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

AUSTIN, TX

Past

September 16, 1997 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

September 16, 1997 - November 23, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

AUSTIN, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DEAN WEALTH PARTNERS, LLC

DEAN WEALTH PARTNERS | JAM DWP GROUP, LLC | DEAN WEALTH PARTNERS, LLC

CRD#: 298237 / SEC#: 801-126534

RIA

Registered Investment Advisory firm - (9/8/2022 Approved)

Texas

Registered Investment Advisory firm - (11/18/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Colorado
(11/26/2018)

Connecticut
(11/26/2018)

Florida
(9/26/2022)

North Carolina
(11/26/2018)

Tennessee
(11/26/2018)

Texas
(11/26/2018)

IAR

Texas
(11/26/2018)

Vermont
(11/26/2018)

Washington
(11/26/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/17/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/10/1997

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

DEAN WEALTH PARTNERS, LLC

DEAN WEALTH PARTNERS | JAM DWP GROUP, LLC | DEAN WEALTH PARTNERS, LLC

CRD#: 298237 / SEC#: 801-126534

RIA

Registered Investment Advisory firm - (9/8/2022 Approved)

Texas

Registered Investment Advisory firm - (11/18/2022 Terminated)

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Contact information

Main Address

7200 N Mopac Expressway Suite 140, Austin, TX 78731

Mailing Address

Phone number

(512) 346-1703

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (2/7/2025)

Regulatory assets under management

Total Number of Accounts	672
AUM (Assets Under Management)	$ 209,306,719

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Max Dean

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Max Dean's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

DEAN WEALTH PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/17/1997

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/10/1997

FINRA

Current Firm

DEAN WEALTH PARTNERS, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DEAN WEALTH PARTNERS, LLC

TRUST BUT VERIFY

Contact information

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